‘Enforcement 40’ for 2020
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By Securities Docket on December 28, 2018, 5:04 pm
Please join F. Joseph Warin, John W.F. Chesley, Sean X. McKessy and Jim Barratt for this free webcast.
By Securities Docket on December 28, 2018, 4:21 pm
Wells Fargo will pay $575 million in a settlement with attorneys general from all 50 states and the District of Columbia that are investigating fake accounts opened without the knowledge of customers and a string of other dodgy practices. Under the agreement announced Friday, the bank will also create teams to review and respond to […]
By Securities Docket on December 28, 2018, 11:27 am
While it is impossible to know who initiates most bribe situations, the giver or the receiver, one thing is clear: no bribe can take place without both. It is for this reason that international conventions such as the OECD Anti-Bribery Convention and the UN Convention Against Corruption encourage state parties to address both sides of […]
By Securities Docket on December 28, 2018, 10:56 am
A former Goldman Sachs Group Inc (GS.N) employee pleaded guilty on Wednesday to engaging in insider trading based on non-public information about several companies that were clients of the investment bank, Manhattan federal prosecutors announced. Woojae “Steve” Jung, who was a vice president with the bank in San Francisco, has agreed to forfeit $130,000 he […]